Matthew J. Roach
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Matthew Joseph Roach, who also goes by Matthew J Roach, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1993. Matthew had worked at 4 firms and has passed the Series 63, Series 65, Series 7 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2010 - December 31, 2012
QUEST CAPITAL STRATEGIES, INC.
July 27, 2010 - December 31, 2012
QUEST CAPITAL STRATEGIES, INC.
December 13, 2005 - June 8, 2010
WALNUT STREET SECURITIES, INC.
July 11, 2002 - November 2, 2006
WALNUT STREET ADVISERS INC
March 31, 1999 - June 8, 2010
WALNUT STREET SECURITIES, INC.
January 27, 1993 - April 19, 1999
WOODBURY FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
